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A filtered search by topic for all guidance, reports or research documents stored on the FMA website.

Found 1606 results. Displaying page 17 of 108

  1. 24 January 2023

    Ease of Doing Business Survery 2022

    The FMA commissioned FiftyFive5 to conduct research among key stakeholders to understand the effectiveness of their interactions with the FMA and satisfaction with the services provided. This is the seventh year (2022) this stakeholder research has been conducted.
    Tags
    Reports and Papers, News & Insights
    Type
    PDF, Surveys

  2. 24 January 2023

    FMA Annual Report 2022

    This is the FMA 2021/2022 annual report. Our annual reports detail the results we have achieved against our stated intentions. Our annual reports are a great way to review our operational highlights for each financial year.
    Tags
    Type
    PDF, Annual report, Corporate publications

  3. 20 January 2023

    MIS Sector Risk Assessment 2023

    Findings from the FMA’s assessment of the sector risks and the underlying key risk factors for Managed Investment Schemes (MIS), January 2023
    Tags
    KiwiSaver providers, Roles, Business, Managed investment schemes, Supervisor
    Type
    PDF

  4. 18 January 2023

    FAP Licensing Application Guide Class 3 questions

    FAP Licensing Application Guide Class 3 questions: This document contains the questions you will be asked when applying for a Class 3 Financial Advice Provider full licence. It should be read alongside our guide to full licensing.
    Tags
    Financial Advice Provider, Licence guide, Roles, Licensing & registration, Business
    Type
    PDF

  6. 17 January 2023

    Supervisors Licence Public Trust

    This is the Supervisors Licence Public Trust certificate. LICENCE GRANTED: 17 January 2023, LICENCE STATUS: Active.
    Tags
    Licence, Roles, Licensing & registration, Business, Supervisor
    Type
    PDF

  9. 21 December 2022

    Wynyard Group - NZICA decision on appeal

    NZICA has released its disciplinary decisions arising from the 2015 PwC audit of the formerly NZX-listed Wynyard Group.
    Tags
    Auditors, Roles, Business, Enforcement
    Type
    PDF

  11. 15 December 2022

    ASX 24 Obligations Review 2022

    This review covers the period 1 July 2020 to 30 June 2022 and is our fourth review of ASX 24 since its licence came into effect on 1 December 2014.
    Tags
    Reports and Papers, Roles, Business, News & Insights, Market operator
    Type
    PDF

  12. 15 December 2022

    SGX DT Obligations Review 2022

    This report covers the FMA’s review of SGX-DT for the period 14 September 2021 (the commencement date of SGX-DT’s licence) to 30 June 2022.
    Tags
    Reports and Papers, Roles, Business, Market operator, News & Insights
    Type
    PDF

  14. 15 December 2022

    AML/CFT Designated Business Group – Formation and Change Guideline

    This guideline 2022 is designed to help reporting entities forming a designated business group (DBG) to understand the process for doing so. Entities may form a DBG if they are eligible to do so under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (the AML/CFT Act) and associated regulations.
    Tags
    AML/CFT, Obligations, Roles, Business, Designated Business Group (DBG)
    Type
    PDF, Guidance

  15. 15 December 2022

    Pencarrow Private Equity Management Limited - Formal Warning

    We have formally warned Pencarrow Private Equity Management Limited for breaching record-keeping requirements under the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act.
    Our investigation found Pencarrow had systemic failings in its retention of identity and verification records for customers who invested in its Fund V, during the period April to July 2018, in that the records were not readily accessible.
    Tags
    Type
    PDF